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Tom is a senior associate in our financial markets team. He advises clients on all aspects of financial products and services, from structuring their offerings to meeting their obligations under the Financial Markets Conduct Act.

He also works with our corporate and commercial team on takeovers and mergers and acquisitions, and has significant experience with the restructure of financial markets participants and the products they offer.

Tom advises both large and boutique providers of investment funds, including KiwiSaver and workplace savings schemes, property syndications, and forestry partnerships. He also advises clients that provide financial advisory services, discretionary investment management services (DIMS), and derivative financial products. Depending on the size of the client organisation, he works with in-house legal and compliance teams, product managers, senior management, and analysts.

Tom can help ensure that your products and offerings, including innovative fintech solutions, comply with legal requirements while also meeting your strategic goals. He can also help you interact with the Financial Markets Authority and other regulators should any issues arise.

Tom has an in-depth understanding of the financial services industry and has spent time on secondment to one of New Zealand’s largest financial service providers and to a major bank.

Admission date: 2012

EXPERIENCE

Tom has advised: 

  • A number of fund managers, DIMS providers, and derivatives issuers, including the Kiwi Wealth group, Aspiring Asset Management, Salt Funds Management, New Zealand Funds Management, AMP, and Forsyth Barr, on the transition of products and services to the Financial Markets Conduct Act regime. 
  • AMP on a broad range of other investment funds matters, including the establishment of a new fund range within the AMP KiwiSaver Scheme, key disclosure projects, the amalgamation of AMP’s two core managed fund offerings into the AMP Investment Trust, and the restructure of management and issuer functions within the AMP group.
  • Roger Dickie NZ on its corporate restructure and subsequent transition of 65 forestry partnerships to the Financial Markets Conduct Act regime. 
  • Morningstar on the implications of the financial advisers regime and updated DIMS regulator guidance for its model portfolio offering.
  • The Kiwibank / Kiwi Wealth group on the establishment of a new range of wholesale managed funds and implementation of a fund-of-funds structure, including the creation of a socially responsible investment option.
  • Michael Hill International on its complex corporate re-domicile to Australia and subsequent dual listing under a court-ordered share swap and partial upstream acquisition.

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